Deputy Chief Compliance Officer

We are representing a well-established $9billion investment firm in their search for a Deputy Chief Compliance Officer in Seattle, WA – this role is second in command to the Chief Compliance Officer Why Join Us: Opportunity to work alongside firm’s Chief Compliance Officer / Senior Counsel to further develop your exposure and expertise Established firm with over $2billion increase in AUM over the past three years Company culture of compliance and ethics, with top-down support for the program Collaborative team-approach, including social and community events Responsibilities: Reporting to the Chief Compliance Officer / Senior Counsel, you will be responsible for supporting the firm-wide compliance program, including coverage of alternative investments for a global client base which includes public and corporate retirement plans, insurance companies, foundations, endowments, and high net worth individuals Assist in implementing, monitoring and updating compliance program in accordance with applicable regulations Perform existing and help design and implement new and/or improved testing procedures to evaluate policies and procedures in Code of Ethics and Regulatory Compliance Manual Manage employee personal securities trading, political contributions, outside position, gifts and entertainment reporting, attestation and certification events on oversight platform Review private fund marketing materials in accordance with Advisers Act Marketing Rule requirements Support creation and delivery of compliance-related training for employees Assist in managing regulatory examinations or inquiries Support the annual compliance program review processes Conduct research on applicable regulatory developments Maintain and help manage compliance program for investor side letters Maintain accurate records of regulatory deadlines, help compile data and information required for completion of regulatory filings, and help ensure timely submissions Assist with the review, processing, and management of various fund products and portfolio related legal agreements, NDAs, vendor agreements, and investor communications Manage and/or assist with legal and/or compliance projects as necessary Qualifications: Essential Education: Bachelor’s Degree You will bring several years of investment adviser/private investment fund compliance experience Also desirable would be exposure to paralegal or legal assistant work currently or earlier in your career #J-18808-Ljbffr

Created: 2025-10-06